CF
Charles E. Fulkerson
Some features on this profile are disabled
CRD#: 6768356
CF
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles E Fulkerson, who also goes by Chuck Fulkerson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2017. Charles had worked at 1 firm and has passed the Series 63 and Series 65 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chuck Fulkerson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. The name of the OBA: Salt and Light ministries
Investment Related: No
The address of the OBA: 2502 Oak Mill Drive, Kingwood Tx 77345
The nature of the OBA: Ministry Podcast
Position, title, or relationship with the OBA: Co-host
The start date of the relationship with the OBA: 03/05/2005
The approximate number of hours/month devoted to the OBA: 4
The number of hours devoted to the OBA during securities trading hours: 0
Briefly describe the duties relating to the OBA: Co-host a podcast designed to spread faith awareness. Also positions me in the faith based Catholic Community
2. The name of the OBA: Insperity
Investment Related: No
The address of the OBA: 19001 Crescent Springs Dv, Kingwood Tx 77339
The nature of the OBA: HR Outsourcing
Position, title, or relationship with the OBA: Senior Sales Trainer
The start date of the relationship with the OBA: O1/19/2018
The approximate number of hours/month devoted to the OBA: 150
The number of hours devoted to the OBA during securities trading hours: 8
Briefly describe the duties relating to the OBA: Sales training for employees of Insperity to sell their solutions. NSP is a publicly traded entity and to minimize exposure NSP is never traded in personal or client accounts.
3. The name of the OBA: National Farm Life
Investment Related: No
The address of the OBA: 2502 Oak Mill Drive, Kingwood Tx 77345
The nature of the OBA: Life Insurance and fixed annuities
Position, title, or relationship with the OBA: Independent Agent
The start date of the relationship with the OBA: 08/07/2018
The approximate number of hours/month devoted to the OBA: 0
The number of hours devoted to the OBA during securities trading hours: 0
Briefly describe the duties relating to the OBA: Offer my clients an option for Whole and Term insurance products or fixed annuities.
4. The name of the OBA: TreadersArmy.com
Investment Related: no
The address of the OBA: 2502 Oak Mill Drive, Kingwood Tx 77345
The nature of the OBA: Trading Videos and Teaching
Position, title, or relationship with the OBA: Sr. Trader / Owner
The start date of the relationship with the OBA: 08/12/2018
The approximate number of hours/month devoted to the OBA: 8
The number of hours devoted to the OBA during securities trading hours: 0
Briefly describe the duties relating to the OBA: An extension of Daily Market Commentary efforts to provide a marketing lead source back into IIE Financial
5. The name of the OBA: Investor's Business Daily - Independent Contractor
Investment Related: Yes
The address of the OBA: 2502 Oak Mill Drive, Kingwood Tx 77345
The nature of the OBA: Content writing of IBD strategies and video recording
Position, title, or relationship with the OBA: Independent Contractor
The start date of the relationship with the OBA: 04/15/2018
The approximate number of hours/month devoted to the OBA: 40
The number of hours devoted to the OBA during securities trading hours: 0-10 (only when traveling to California to film courses)
Briefly describe the duties relating to the OBA: Modify existing IBD content and add personal experience to create home study material. Once material is created record the home study material on video for IBD. Will eventually include presenting weekend seminars for IBD in 2019. No securities trading hours time added for this role.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 1, 2017 - March 3, 2023
SYMPHONY FINANCIAL, LTD. CO.
RIA
CRD#: 171816
Kingwood, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
Current Firm
SF
SYMPHONY FINANCIAL, LTD. CO.
ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT
CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - (6/30/2014 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4295 San Felipe Suite 300, Houston, TX 77027
Mailing Address
Phone number
(281) 272-6800
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,324 |
| AUM (Assets Under Management) | $ 1,093,185,695 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
